Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
INVESTMENT ADVISER NEWS & GUIDANCE
9/13/2018 | Content area: Investment Adviser
Some two weeks after a new group urged the Commission to tamp down on the administrative state (IA Watch, Aug. 30, 2018), SEC Chairman Jay Clayton has...
9/13/2018 | Content area: Investment Adviser
We’ve told you before about Stephanie Drescher’s $1,000 contribution to the presidential campaign of Ohio Governor John Kasich (IA Watch, March 29, 20...
9/13/2018 | Content area: Investment Adviser
The fundamental benefit of placing your mutual fund on a multi-series trust platform is that you’re handing over the responsibility for operations to ...
9/06/2018 | Content area: Investment Adviser
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previo...
9/06/2018 | Content area: Investment Adviser
The Investment Advisers Act calls for you to be informed when your firm’s code of ethics is violated. What you do from there can be a challenge.   Con...
9/06/2018 | Content area: Investment Adviser
That old phrase “the left hand doesn’t know what the right hand is doing” comes to mind given that an advisory firm has just settled an enforcement ac...
9/06/2018 | Content area: Investment Adviser
The Senate has confirmed President Trump’s choice to be the fifth SEC commissioner. Elad Roisman, once sworn in, would replace Republican Commissioner...
9/06/2018 | Content area: Investment Adviser
An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a complaint filed...
9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
8/30/2018 | Content area: Investment Adviser
A spate of enforcement actions lately has highlighted the compliance risks around securities lending, with the $1.6 billion fine against Deutsche Bank...
8/30/2018 | Content area: Investment Adviser
Those who decry the SEC for so-called regulation through enforcement may have found a new ally.   The newly-formed group New Civil Liberties Alliance ...
8/30/2018 | Content area: Investment Adviser
Once again, evidence emerges of the heavy cost of not listening to concerns raised by compliance staff.   When a compliance official at Aegon USA Inve...
8/30/2018 | Content area: Investment Adviser | Broker-Dealer
After a six-city tour of investor roundtables concerning the SEC’s standards of conduct for investment professionals rulemaking it’s clear to Commissi...
8/30/2018 | Content area: Investment Adviser
The other shoe has now dropped in connection with Legg Mason’s involvement in a scheme dating back to 2004 to bribe Libyan government officials to sec...
8/23/2018 | Content area: Investment Adviser
Whatever your commute looks like, consider what Vince Cuticello faces. He’s the CCO for one advisory firm in New York and another in Southern Californ...
8/23/2018 | Content area: Investment Adviser
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy di...
8/23/2018 | Content area: Investment Adviser
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-...
8/23/2018 | Content area: Investment Adviser
The expectation from brochures provided to clients and Forms ADV filed with the SEC was that Merrill Lynch would use “disclosed investment quality sta...
8/16/2018 | Content area: Investment Adviser
Jeffrey Davis, an Ameriprise rep based in Virginia, notified the dual registrant of the name of his outside business. Later, when Davis fraudulently s...
8/16/2018 | Content area: Investment Adviser
May you never have to answer this question: Must we disclose a disciplinary event in our Form ADV brochure and distribute the document to our clients?...
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